The Senior Manager and Certification Regime will apply from 7 March 2016 to banks, building societies, credit unions and certain large investment firms established in the UK, including UK subsidiaries of overseas firms.

In late May, FINRA published a set of Frequently Asked Questions regarding FINRA's equity research rule, which addresses interactions between issuers, research analysts and investment bankers in various stages of the offering process (the "Research FAQs" or the "FAQs").

The FINRA Disclosure Document highlights potential implications of transferring assets to the representative's new firm and encourages the retail customer to ask questions regarding those considerations to the new firm.

Based on Mondaq users readership, this author is ranked as Very Popular in United States for the topics, user groups and industry sectors listed below:

Position

Banker, Stockbroker, Analyst, Economist

Industry

Not For Profit

Media & Internet

Financial Services & Insurance

* Rankings are based on analysis of the last 12 months of Mondaq readership data across more than 25,000 contributing authors. To be ranked ‘Very Popular’ an author must be in the top 20% of results within the selected criteria.